Kingwest Advisors Inc. (Toronto, Ontario)

Name: Kingwest Advisors Inc.
Address: 86 Avenue Road, Toronto, Ontario, M5 R 2 H2
Telephone: 1-800-850-6393

Kingwest Advisors Inc. is an adviser based in Toronto, Ontario. It manages $6.21 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2005.

Kingwest Advisors provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Kingwest Advisors: assets under management

The assets under management (AUM) of Kingwest Advisors Inc. is $6.21 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -57% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $6.21 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.55 million each.

Investments

The firm invests in exchange traded securities the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Kingwest Advisors Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Kingwest Advisors Inc.

The company employs 3 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Kingwest & Company	Parent company	1 Feb 2002	75% - 100%	foreign
Richard Lyons Fogler	Director, president and chief compliance officer	1 Feb 2002	Other	4836245
Kingwest And Company	Parent company	1 Feb 2002	75% - 100%	foreign
Valarie Hazel Rosina Ross	Chief financial officer	1 Feb 2002	Other	4836251
Valarie Hazel Rosina French	Chief financial officer	1 Feb 2002	Other	4836251
Tim Regan	Managing director	1 Oct 2003	Other	5034451
Laurinda Sofia Martins	Vp of operations	1 Mar 2014	Other	6334741

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Richard Lyons Fogler	100% shareholder	1 May 1982	75% - 100%	4836245
Selian Securities Inc.	87.5% owner	1 May 1982	75% - 100%	foreign
Selian Holdings Ltd.	100% shareholder	1 May 1982	75% - 100%	foreign

Based in Toronto, Ontario

The principal office where Kingwest Advisors Inc. performs its advisory services is located at 86 Avenue Road, Toronto, Ontario, M5 R 2 H2, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 1-800-850-6393 or by fax 416-927-9264. The normal business hours are 8:30 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at kingwestadvisors.com.